Compliance Specialist

Vanguard • Malvern, PA

5d • Hybrid

About The Position

Compliance mission and vision: Mission - Design and implement dynamic, scalable compliance programs that guide and support Vanguard in achieving its mission. Vision - To inspire and cultivate a culture of compliance that enables Vanguard crew to do the right thing, every time. Responsibilities: Supporting foundational compliance program initiatives, including maintaining core frameworks, policies, and governance structures that ensure alignment with regulatory expectations and industry best practices. Coordinating and collaborating with business partners across the enterprise to consolidate information from multiple sources into comprehensive, cohesive responses, reports, or other materials for engagement with regulators. Appropriately demonstrating consideration for the firm's reputation and safeguarding Vanguard and its clients by applying sound judgment and business practices to mitigate and manage regulatory risk. Monitoring evolving regulatory landscapes and proactively informing stakeholders of relevant industry trends, emerging regulatory priorities, and compliance matters. Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners. Collaborate on compliance-related projects, including cross-departmental initiatives, regulatory deliverables, and internal process improvements. Participating in special projects and performing other duties as assigned. Core Competencies: Strong leadership presence; can lead through influence / without formal authority; well-developed interpersonal and communication skills; experience with regulatory communications a plus. Adept at synthesizing large amounts of information and providing concise messaging. Confident and has ability to structure, summarize, present project status as well as defend recommendations and outcomes. Can work effectively in a team-based, collaborative leadership model; a team player who will implement initiatives effectively and motivate others to carry out their work. Self-starter who brings high sense of urgency to assignments and goals. Integrity, maturity, dependability, a positive professional attitude. Comfortable with ambiguity and change and working in a large, complex organization. High degree of integrity, ethics, and confidentiality. Ability to apply situational judgment and decision-making authority. Qualifications Minimum of five years related work experience, with at least two years within a financial services compliance function. Undergraduate degree or equivalent combination of training and experience. FINRA Licensing strongly preferred. Special Factors Sponsorship Vanguard is not offering visa sponsorship for this position. About Vanguard At Vanguard, we don't just have a mission—we're on a mission. To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience. Vanguard, one of the world's largest investment management companies, serves individual investors, institutions, employer-sponsored retirement plans, and financial professionals. We have a diverse and talented crew with a culture that promotes teamwork, along with an unwavering focus on serving our clients' best interests. This website uses "cookies" to distinguish you from other users. A cookie is a small file of letters and numbers placed on your computer or device. This helps us to provide you with a good experience when you browse our website and also allows us to improve our site and services. The cookies are stored locally on your computer or mobile device. To accept cookies you can continue browsing as normal. Or you can go to our Privacy Policy to read more information and learn how to change your preferences.

Requirements

• Minimum of five years related work experience, with at least two years within a financial services compliance function.
• Undergraduate degree or equivalent combination of training and experience.
• Strong leadership presence; can lead through influence / without formal authority; well-developed interpersonal and communication skills; experience with regulatory communications a plus.
• Adept at synthesizing large amounts of information and providing concise messaging.
• Confident and has ability to structure, summarize, present project status as well as defend recommendations and outcomes.
• Can work effectively in a team-based, collaborative leadership model; a team player who will implement initiatives effectively and motivate others to carry out their work.
• Self-starter who brings high sense of urgency to assignments and goals.
• Integrity, maturity, dependability, a positive professional attitude.
• Comfortable with ambiguity and change and working in a large, complex organization.
• High degree of integrity, ethics, and confidentiality.
• Ability to apply situational judgment and decision-making authority.

Nice To Haves

• FINRA Licensing strongly preferred.

Responsibilities

• Supporting foundational compliance program initiatives, including maintaining core frameworks, policies, and governance structures that ensure alignment with regulatory expectations and industry best practices.
• Coordinating and collaborating with business partners across the enterprise to consolidate information from multiple sources into comprehensive, cohesive responses, reports, or other materials for engagement with regulators.
• Appropriately demonstrating consideration for the firm's reputation and safeguarding Vanguard and its clients by applying sound judgment and business practices to mitigate and manage regulatory risk.
• Monitoring evolving regulatory landscapes and proactively informing stakeholders of relevant industry trends, emerging regulatory priorities, and compliance matters.
• Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners.
• Collaborate on compliance-related projects, including cross-departmental initiatives, regulatory deliverables, and internal process improvements.
• Participating in special projects and performing other duties as assigned.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees